Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Alphatec Holdings, Inc.ATEC · Entity 4720 | Director · President & COO | July 30, 2018 | August 02, 2018 |
| SURGALIGN HOLDINGS, INC.SRGA · Entity 109633 | Director · President and CEO | August 15, 2023 | August 16, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Alphatec Holdings, Inc.
Report date July 30, 2018 · Filed August 02, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 732,102 |
Reported balance
After 2018-07-30 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-07-30 · Grant · Acquired 163,265 · Balance 732,102 F1: On July 30, 2018, issuer granted to the reporting person 163,265 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. F2: The restricted stock units vest in four equal installments on each of the first four anniversaries of the grant date. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.69 · Expires 2028-07-30 | Direct | 237,511 |
Reported balance
After 2018-07-30 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-07-30 · Grant · Acquired 237,511 · Balance 237,511 F3: The option will vest 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments; provided, however, that no portion of the option shall be exercisable at any time during the first four years following the grant date unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $4.20 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $4.20 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate. |
| Common StockSEC Table I · non-derivative | IndirectBy IRA | 58,096 |
Reported balance
Holding disclosure · report date 2018-07-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 58,096 |
Filing footnotes · ownership attribution and instrument terms
F1: On July 30, 2018, issuer granted to the reporting person 163,265 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock.
F2: The restricted stock units vest in four equal installments on each of the first four anniversaries of the grant date.
F3: The option will vest 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments; provided, however, that no portion of the option shall be exercisable at any time during the first four years following the grant date unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $4.20 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $4.20 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate.
SURGALIGN HOLDINGS, INC.
Report date August 15, 2023 · Filed August 16, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 149,683 |
Reported balance
After 2023-08-15 transaction · row 1
1 source rowRow 1 · 2023-08-15 · Tax withholding · Disposed 8,821 · Balance 149,683 F1: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 15, 2023 Filed Aug 16, 2023 17:33 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | Tax withholdingCommon Stock | 8,821 | $0.02 | $176.42 |
DisclosureSEC source: 0001209191-23-046080 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 149,683 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document |
| August 07, 2023 Filed Aug 9, 2023 09:47 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | Tax withholdingCommon Stock | 446 | $0.02 | $8.92 |
DisclosureSEC source: 0001209191-23-045106 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 158,504 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document |
| May 07, 2023 Filed May 8, 2023 14:15 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | Tax withholdingCommon Stock | 145 | $1.20 | $174.00 |
DisclosureSEC source: 0001209191-23-027893 · doc4.xml · nonDerivative · entry 2 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 158,950 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document |
| May 07, 2023 Filed May 8, 2023 14:15 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | Tax withholdingCommon Stock | 541 | $1.20 | $649.20 |
DisclosureSEC source: 0001209191-23-027893 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 159,095 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 09:58 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | Tax withholdingCommon Stock | 540 | $2.14 | $1,155.60 |
DisclosureSEC source: 0001209191-23-007961 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,636 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document |
| January 13, 2023 Filed Jan 17, 2023 09:40 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | Tax withholdingCommon Stock | 190 | $2.79 | $530.10 |
DisclosureSEC source: 0001209191-23-003413 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,176 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document |
| December 31, 2022 Filed Jan 3, 2023 11:03 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | Tax withholdingCommon Stock | 121 | $1.99 | $240.79 |
DisclosureSEC source: 0001209191-23-000023 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,366 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document |
| November 07, 2022 Filed Nov 9, 2022 10:24 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | Tax withholdingCommon Stock | 458 | $1.79 | $819.82 |
DisclosureSEC source: 0001209191-22-056176 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,487 F1 · shares: Shares withheld by Surgalign Holdings, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 13:37 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | GrantCommon Stock | 52,380 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-046179 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,945 F1 · shares: The Restricted Stock Units will vest over two years with one-half of the total number of shares vesting on the first anniversary of the award date and the remaining shares vesting prorated quarterly. F2 · balance_after: The total shares reported reflect 1:30 reverse stock split on May 17, 2022 and include 1,056 shares purchased under the Company's Employee Stock Purchase Plan on June 30, 2022, which is exempt under Rule 16b-3(c). Read SEC document |
| February 15, 2022 Filed Feb 16, 2022 11:43 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | PurchaseWarrants (right to buy) · Derivative | 326,088 | $0.00 Strike: $0.60 | $32.61 |
DisclosureSEC source: 0001209191-22-010121 · doc4.xml · derivative · entry 2 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 765,186 Underlying: Common Stock · 326,088 shares Expires 2027-02-15 Read SEC document |
| February 15, 2022 Filed Feb 16, 2022 11:43 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | PurchaseCommon Stock | 434,784 | $0.46 | $199,913.68 |
DisclosureSEC source: 0001209191-22-010121 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,225,429 F1 · balance_after: Total shares includes 17,985 shares purchased under the Company's Employee Stock Purchase Plan on December 31, 2021, which is exempt under Rule 16b-3(c). Read SEC document |
| August 13, 2021 Filed Aug 13, 2021 16:04 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | PurchaseCommon Stock | 10,100 | $0.91 | $9,191.00 |
DisclosureSEC source: 0001209191-21-051375 · doc4.xml · nonDerivative · entry 3 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,772,660 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9123 to $0.9146, inclusive. Read SEC document |
| August 12, 2021 Filed Aug 13, 2021 16:04 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | PurchaseCommon Stock | 365,645 | $0.94 | $343,706.30 |
DisclosureSEC source: 0001209191-21-051375 · doc4.xml · nonDerivative · entry 2 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,762,560 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9273 to $0.9499, inclusive. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 16:04 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | PurchaseCommon Stock | 702,956 | $0.93 | $653,749.08 |
DisclosureSEC source: 0001209191-21-051375 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,396,915 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9006 to $0.95, inclusive. The reporting person undertakes to provide to Surgalign Holdings, Inc., any security holder of Surgalign Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote(s) (1), (2), and (3) of this Form 4. Read SEC document |
| May 07, 2021 Filed May 10, 2021 16:40 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | GrantCommon Stock | 21,309 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-031252 · doc4.xml · nonDerivative · entry 3 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,712,925 F3 · shares: Represents recoupment of lost wages during 2020; with 1/2 of the shares vesting after year one and remaining 1/2 of the shares after year two. Read SEC document |
| May 07, 2021 Filed May 10, 2021 16:40 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | GrantCommon Stock | 113,801 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-031252 · doc4.xml · nonDerivative · entry 2 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,691,616 F2 · shares: Represents a portion of the 2020 short-term incentive plan; vests on May 7, 2022. Read SEC document |
| May 07, 2021 Filed May 10, 2021 16:40 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | GrantCommon Stock | 476,879 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-031252 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,577,815 F1 · shares: The Restricted Stock Units will vest over three years with 1/3 of the shares vesting after year one and remaining 2/3 of the shares vesting prorated quarterly. Read SEC document |
| May 07, 2021 Filed Jul 2, 2021 16:39 UTC Amendment | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | GrantCommon Stock | 94,834 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-044987 · doc4a.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,693,959 F1 · shares: The Form 4 filed on 5/10/2021 representing a portion of the 2020 short-term incentive plan which vests on May 7, 2022, erroneously reported 113,801 shares in column four due to administrative error. The purpose of this amendment is to correct the total underlying shares in columns four and five. Read SEC document |
| February 01, 2021 Filed Feb 2, 2021 10:30 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | PurchaseCommon Stock | 808,204 | $1.50 | $1,212,306.00 |
DisclosureSEC source: 0001209191-21-006631 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,100,936 Read SEC document |
| July 22, 2020 Filed Jul 24, 2020 14:38 UTC | SURGALIGN HOLDINGS, INC. RTIX · Entity 109633 | GrantOption to purchase common stock · Derivative | 72,140 | $0.00 Strike: $3.14 | $0.00 |
DisclosureSEC source: 0001209191-20-043577 · doc4.xml · derivative · entry 2 Rich Terry M. · CIK 0001544482 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,098 Underlying: Common Stock · 72,140 shares Expires 2030-07-21 F2 · derivative.exercise_date: The options will become exercisable as to 24,047 shares on 1/13/2021 and 6,012 shares on each of 4/13/2021, 7/13/2021, 10/13/2021, 1/13/2022 and 4/13/2022 and 6,011 shares on each of 7/13/2022, 10/13/2022 and 1/13/2023. Read SEC document |
| July 22, 2020 Filed Jul 24, 2020 14:38 UTC | SURGALIGN HOLDINGS, INC. RTIX · Entity 109633 | GrantCommon Stock | 48,093 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-043577 · doc4.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292,732 F1 · shares: The restricted shares will become vested as to 16,031 shares on 1/13/2021 and 4,008 shares on each of 4/13/2021, 7/13/2021, 10/13/2021, 1/13/2022 and 4/13/2022, 7/13/2022 and 4,007 shares on each of 10/13/2022 and 1/13/2023. Read SEC document |
| January 12, 2020 Filed Jan 14, 2020 15:29 UTC | SURGALIGN HOLDINGS, INC. RTIX · Entity 109633 | GrantOption(right to Purchase) · Derivative | 0 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001544482-20-000001 · primary_doc.xml · derivative · entry 2 Rich Terry M. · CIK 0001544482 · President,Global Spine 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires 2030-01-12 F5 · derivative.exercise_price: The reporting person shall file an amended Form 4 when the volume weighted average price per share of the Company's common stock on Nasdaq Stock Market for the thirty trading days beginning on the close of the market on January 13, 2020 is determined. F3 · shares: The reporting person received an award of options to purchase the issuer's common stock that is equal to the number of the issuer's restricted shares equal to $787,200 divided by the volume weighted average price per share of the Company's common stock on Nasdaq Stock Market for the fifteen trading days beginning on the close of the market on January 13, 2020. F5 · shares: The reporting person shall file an amended Form 4 when the volume weighted average price per share of the Company's common stock on Nasdaq Stock Market for the thirty trading days beginning on the close of the market on January 13, 2020 is determined. F4 · derivative.exercise_date: The award will vest as follows:one third on January 13, 2021 and the remaining two-thirds shall vest quarterly thereafter ending on January 13, 2023. F3 · derivative.underlying_shares: The reporting person received an award of options to purchase the issuer's common stock that is equal to the number of the issuer's restricted shares equal to $787,200 divided by the volume weighted average price per share of the Company's common stock on Nasdaq Stock Market for the fifteen trading days beginning on the close of the market on January 13, 2020. F5 · derivative.underlying_shares: The reporting person shall file an amended Form 4 when the volume weighted average price per share of the Company's common stock on Nasdaq Stock Market for the thirty trading days beginning on the close of the market on January 13, 2020 is determined. F4 · balance_after: The award will vest as follows:one third on January 13, 2021 and the remaining two-thirds shall vest quarterly thereafter ending on January 13, 2023. Read SEC document |
| January 12, 2020 Filed Jan 14, 2020 15:29 UTC | SURGALIGN HOLDINGS, INC. RTIX · Entity 109633 | GrantCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001544482-20-000001 · primary_doc.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · President,Global Spine 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: The reporting person received an award that is equal to the number of shares of restricted stock of the issuer equal to $524,800 divided by the volume weighted average price per share of the Company's common stock on Nasdaq Stock Market for the thirty trading days beginning on the close of the market on January 13, 2020. F2 · shares: The award vests as follows:one third shall vest on January 13, 2021 and the remaining two-thirds shall vest quarterly thereafter ending on January 13, 2023. F5 · shares: The reporting person shall file an amended Form 4 when the volume weighted average price per share of the Company's common stock on Nasdaq Stock Market for the thirty trading days beginning on the close of the market on January 13, 2020 is determined. F1 · balance_after: The reporting person received an award that is equal to the number of shares of restricted stock of the issuer equal to $524,800 divided by the volume weighted average price per share of the Company's common stock on Nasdaq Stock Market for the thirty trading days beginning on the close of the market on January 13, 2020. F2 · balance_after: The award vests as follows:one third shall vest on January 13, 2021 and the remaining two-thirds shall vest quarterly thereafter ending on January 13, 2023. F5 · balance_after: The reporting person shall file an amended Form 4 when the volume weighted average price per share of the Company's common stock on Nasdaq Stock Market for the thirty trading days beginning on the close of the market on January 13, 2020 is determined. Read SEC document |
| January 12, 2020 Filed Feb 26, 2020 16:36 UTC Amendment | SURGALIGN HOLDINGS, INC. RTIX · Entity 109633 | GrantOption(right to purchase) · Derivative | 179,006 | $4.40 Strike: $4.40 | $787,626.40 |
DisclosureSEC source: 0001209191-20-013035 · doc4a.xml · derivative · entry 2 Rich Terry M. · CIK 0001544482 · President, Global Spine 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 179,006 shares Expires 2030-01-12 F2 · derivative.exercise_date: The award vests as follows: one-third shall vest on January 13, 2021 and the remaining two-thirds shall vest quarterly thereafter ending on January 13, 2023. Read SEC document |
| January 12, 2020 Filed Feb 26, 2020 16:36 UTC Amendment | SURGALIGN HOLDINGS, INC. RTIX · Entity 109633 | GrantCommon Stock | 119,041 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-013035 · doc4a.xml · nonDerivative · entry 1 Rich Terry M. · CIK 0001544482 · President, Global Spine 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,639 F1 · shares: The award vests as follows: one-third shall vest on January 13, 2021 and the remaining two-thirds shall vest quarterly thereafter ending on January 13, 2023. Read SEC document |
| January 12, 2020 Filed Feb 28, 2020 17:06 UTC Amendment | SURGALIGN HOLDINGS, INC. RTIX · Entity 109633 | GrantOption(right to purchase) · Derivative | 178,561 | $4.41 Strike: $4.41 | $787,454.01 |
DisclosureSEC source: 0001209191-20-014000 · doc4a.xml · derivative · entry 1 Rich Terry M. · CIK 0001544482 · President, Global Spine 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 178,561 shares Expires 2030-01-12 F1 · shares: This Form 4 is being amended to correct the exercise price and number of options to purchase the issuer's common stock awarded, calculated pursuant to the formula approved by the Compensation Committee of $787,200 divided by the volume weighted average price per share of the Company's common stock on the Nasdaq Stock Market for the thirty trading days beginning on the close of the market on January 13, 2020. F2 · derivative.exercise_date: The award vests as follows: one-third shall vest on January 13, 2021 and the remaining two-thirds shall vest quarterly thereafter ending on January 23, 2023. Read SEC document |
| July 30, 2018 Filed Aug 2, 2018 00:32 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantEmployee Stock Option (right to buy) · Derivative | 237,511 | $0.00 Strike: $2.69 | $0.00 |
DisclosureSEC source: 0001179110-18-010080 · edgar.xml · derivative · entry 3 Rich Terry · CIK 0001544482 · Director · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,511 Underlying: Common Stock · 237,511 shares Expires 2028-07-30 F3 · derivative.exercise_date: The option will vest 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments; provided, however, that no portion of the option shall be exercisable at any time during the first four years following the grant date unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $4.20 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $4.20 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate. Read SEC document |
| July 30, 2018 Filed Aug 2, 2018 00:32 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantCommon Stock | 163,265 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-010080 · edgar.xml · nonDerivative · entry 1 Rich Terry · CIK 0001544482 · Director · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 732,102 F1 · date: On July 30, 2018, issuer granted to the reporting person 163,265 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. F2 · date: The restricted stock units vest in four equal installments on each of the first four anniversaries of the grant date. F1 · shares: On July 30, 2018, issuer granted to the reporting person 163,265 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. F2 · shares: The restricted stock units vest in four equal installments on each of the first four anniversaries of the grant date. F1 · balance_after: On July 30, 2018, issuer granted to the reporting person 163,265 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. F2 · balance_after: The restricted stock units vest in four equal installments on each of the first four anniversaries of the grant date. Read SEC document |
| May 17, 2018 Filed May 21, 2018 22:58 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | Exercise / conversionSeries B Convertible Preferred Stock · Derivative | 183 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-007274 · edgar.xml · derivative · entry 4 Rich Terry · CIK 0001544482 · Director · President & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 0 Underlying: Common Stock · 58,096 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion. F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion. F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion. Read SEC document |
| May 17, 2018 Filed May 21, 2018 22:58 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | Exercise / conversionSeries B Convertible Preferred Stock · Derivative | 317 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-007274 · edgar.xml · derivative · entry 3 Rich Terry · CIK 0001544482 · Director · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,635 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion. F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion. F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion. Read SEC document |
| May 17, 2018 Filed May 21, 2018 22:58 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | Exercise / conversionCommon Stock | 58,096 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-007274 · edgar.xml · nonDerivative · entry 2 Rich Terry · CIK 0001544482 · Director · President & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 58,096 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion. Read SEC document |
| May 17, 2018 Filed May 21, 2018 22:58 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | Exercise / conversionCommon Stock | 100,635 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-007274 · edgar.xml · nonDerivative · entry 1 Rich Terry · CIK 0001544482 · Director · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 568,837 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion. F2 · balance_after: Includes 6,363 and 3,881 shares acquired under the issuer's employee stock purchase plan on November 15, 2017 and May 15, 2018, respectively. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 22:11 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantWarrants (right to buy) · Derivative | 49,381 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001179110-18-004082 · edgar.xml · derivative · entry 4 Rich Terry · CIK 0001544482 · Director · President & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 49,381 Underlying: Common Stock · 49,381 shares Expires not disclosed F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained. F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 22:11 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantWarrants (right to buy) · Derivative | 85,540 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001179110-18-004082 · edgar.xml · derivative · entry 3 Rich Terry · CIK 0001544482 · Director · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,540 Underlying: Common Stock · 85,540 shares Expires not disclosed F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained. F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 22:11 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantSeries B Convertible Preferred Stock · Derivative | 183 | $1,000.00 | $183,000.00 |
DisclosureSEC source: 0001179110-18-004082 · edgar.xml · derivative · entry 2 Rich Terry · CIK 0001544482 · Director · President & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 183 Underlying: Common Stock · 58,096 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained. F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained. F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 22:11 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantSeries B Convertible Preferred Stock · Derivative | 317 | $1,000.00 | $317,000.00 |
DisclosureSEC source: 0001179110-18-004082 · edgar.xml · derivative · entry 1 Rich Terry · CIK 0001544482 · Director · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 317 Underlying: Common Stock · 100,635 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained. F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained. F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained. Read SEC document |
| October 12, 2017 Filed Oct 12, 2017 20:44 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | Exercise / conversionSeries A Convertible Preferred Stock · Derivative | 500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-013269 · edgar.xml · derivative · entry 2 Rich Terry · CIK 0001544482 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 250,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017. F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017. Read SEC document |
| October 12, 2017 Filed Oct 12, 2017 20:44 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | Exercise / conversionCommon Stock | 250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-013269 · edgar.xml · nonDerivative · entry 1 Rich Terry · CIK 0001544482 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 457,958 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 25, 2017 Filed Aug 28, 2017 20:33 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | PurchaseCommon Stock | 2,500 | $1.99 | $4,975.00 |
DisclosureSEC source: 0001179110-17-011861 · edgar.xml · nonDerivative · entry 1 Rich Terry · CIK 0001544482 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,958 Read SEC document |
| August 15, 2017 Filed Aug 16, 2017 21:56 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | PurchaseCommon Stock | 2,958 | $1.69 | $4,999.02 |
DisclosureSEC source: 0001179110-17-011553 · edgar.xml · nonDerivative · entry 1 Rich Terry · CIK 0001544482 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,458 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.684 to $1.687, inclusive. The reporting person undertakes to provide to Alphatec Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| July 26, 2017 Filed Jul 27, 2017 23:12 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantEmployee Stock Option (right to buy) · Derivative | 386,000 | $0.00 Strike: $1.68 | $0.00 |
DisclosureSEC source: 0001179110-17-010750 · edgar.xml · derivative · entry 1 Rich Terry · CIK 0001544482 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 386,000 Underlying: Common Stock · 386,000 shares Expires 2027-07-26 F1 · derivative.exercise_date: The option vests over four years with 25% vesting on the first anniversary of the grant date and the remaining 75% vesting in 36 installments every month for the three years thereafter; provided, however, that no portion of the option shall be exercisable at any time unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $3.00 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $3.00 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate. Read SEC document |
| March 29, 2017 Filed Mar 31, 2017 20:45 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantWarrants (right to buy) · Derivative | 250,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009021 · doc4.xml · derivative · entry 2 Rich Terry · CIK 0001544482 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires not disclosed F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following that date that shareholder approval is obtained. F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following that date that shareholder approval is obtained. Read SEC document |
| March 29, 2017 Filed Mar 31, 2017 20:45 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantSeries A Convertible Preferred Stock · Derivative | 500 | $1,000.00 Strike: $2.00 | $500,000.00 |
DisclosureSEC source: 0000899243-17-009021 · doc4.xml · derivative · entry 1 Rich Terry · CIK 0001544482 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common Stock · 250,000 shares Expires not disclosed F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the issuer's common stock following that date that shareholder approval is obtained. F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the issuer's common stock following that date that shareholder approval is obtained. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 23:14 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | PurchaseCommon Stock | 2,500 | $4.26 | $10,660.00 |
DisclosureSEC source: 0001350653-16-000128 · wf-form4_148218923626380.xml · nonDerivative · entry 1 Rich Terry · CIK 0001544482 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,500 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.